NSF Global Animal Wellness Standard (Pig Transport)

Transcription

1 NSF International NSF Global Animal Wellness Standard (Pig Transport) The Public Health and Safety Company. TM

2 NOT FOR DISTRIBUTION OR SALE Published by NSF International PO Box , Ann Arbor, Michigan , USA Copyright 2019 NSF International Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from NSF International. Printed in the United States of America. This document is the property of NSF International. Page 2 of 60

3 Table of Contents Table of Contents...3 Introduction...5 Background...5 Design and Purpose...5 Scope...6 Standard Review and Revision...6 NSF Introduction & History...6 Glossary...8 Animal Wellness Management System Requirements Management Commitment, Policy, Procedures and Planning Animal Welfare Management System Policy Management Responsibility Crisis Management Regulatory Animal Welfare Plan, Protocols and Procedures Documentation Requirements Personnel Personnel Knowledge, Skills and Competency Employee Training and Training Records Health and Safety for Employees, Contracted Resources Monitoring Animal Welfare Plan and Outcomes Ongoing Improvement of Animal Welfare Program Internal Audit External (Third Party) Inspections and Audits Management Review of the Animal Welfare Management System Facilities, Equipment and Materials Site Location, Land, Infrastructure, Equipment and Materials Design, Modifications and Use Inputs and Contracted Services Animal Wellness Program Requirements Animal Source, Health and Safety Animal Source and Selection Welfare and Safety of Animals during Transport This document is the property of NSF International. Page 3 of 60

4 6.3. Monitoring Animal Health Biosecurity Euthanasia Design, Maintenance and Protection in Animal Environment, Facilities and Equipment Facilities Design Sanitation, Maintenance Flooring, bedding, resting surfaces Stocking Density Thermal environment Lighting Air quality Noise Monitoring Facilities, Equipment Feed and Water Feed and Water Equipment Feed and Water Program Animal Handling, Husbandry and Management Animal Handling Willful Acts of Abuse Monitoring References This document is the property of NSF International. Page 4 of 60

5 Introduction Animal welfare is a global issue impacting an expansive portion of the agricultural and food production industry spanning the production, delivery and harvesting protein supply chain. The success and sustainability of this area of industry is directly linked to the relationship between animals and society and the responsible stewardship and treatment of animals within the settings where they are kept, raised and responsibly used. The food industry has become increasingly attuned to consumer and investor expectations and in order to meet these increasing demands for transparency and proactively respond to emerging trends regarding the welfare of animals, retailers and processors are requiring that animal handling and care guidelines are defined, implemented and measured. These guidelines are critical to the health and wellness of animals at every step from birth to slaughter. Background The World Organization for Animal Health (OIE), with a global and science-based agenda, has established guidelines applicable to animal welfare (OIE 2017). These guidelines are global, science-based standards agreed upon by the trading nations of the world, taking into account the cultural and economic variations between regions and countries of the world. The general principles for the welfare of animals in livestock production systems and species-specific program guidelines for production, transport and slaughter, provide a basis for practical requirements to ensure that the concept of the internationally recognized five freedoms are being met. freedom from hunger, thirst and malnutrition freedom from fear and distress freedom from physical and thermal discomfort freedom from pain, injury and disease freedom to express normal patterns of behaviour The OIE guidelines identify scientifically-based criteria and indicators that will provide critical information that has an impact on the welfare of animals. OIE TAHC defines animal welfare as how an animal is coping with the conditions in which it lives ) and that an animal is in a good state of welfare if (as indicated by scientific evidence) it is healthy, comfortable, well nourished, safe, able to express innate behaviour, and if it is not suffering from unpleasant states such as pain, fear, and distress. Good animal welfare requires disease prevention and appropriate veterinary treatment, shelter, management and nutrition, humane handling and humane harvest of products and slaughter. In 2016, ISO released a Technical Specification 34700: Animal welfare management: General requirements and guidance for organizations in the food supply chain (ISO 2016) that provides the guidance for management of the welfare of animals raised for food or feed production around the world and is adaptable to different situations, including: production systems across the supply chain for products of animal origin geographical, cultural and religious contexts developed and developing countries Design and Purpose The NSF Global Animal Wellness standards are designed to be relevant in every country, region and market. To accomplish this, the assessment standards are designed to: This document is the property of NSF International. Page 5 of 60

6 recognize the variability in regulatory requirements and consumer and market pressures globally be outcome-based rather than prescriptive account for variations in local awareness and of scientific and technical developments The NSF Global Animal Wellness System requirements are consistent with ISO/TS and OIE principles and guidelines and has been developed as a tool to assist in determining if ensure that the key elements of an animal welfare management system and programs are in place in organizations. The system elements covered in the standards include: Management Commitment, Policy, Procedures and Planning Personnel Monitoring Animal Welfare Plan and Outcomes Evaluation and Review Facilities, Equipment and Materials The NSF Global Animal Wellness Standards include a series of species and production specific requirements that establish, in greater depth, the program elements required in OIE TAHC, industry-recognized animal welfare care and handling guidelines, codes of practice and international standards and certifications and cover the following: Animal Sources, Health and Safety Design, Maintenance and Protection in Animal Environment, Facilities and Equipment Animal Handling, Husbandry and Management Feed and Water Each requirement in the NSF species and production specific standards is directly linked to one or more of the five freedoms as well as to the four (4) welfare criteria and twelve (12) welfare sub-criteria proposed by Botreau et al. (Botreau R 2007). The purpose of the assessment to these standards is to: - identify gaps - help organizations achieve continuous improvement in their programs - provide assurance of animal wellness in an organization s operations - Scope The scope of this standard encompasses animal wellness programs for transport of pigs. As appropriate, reference is made to relevant assessments concerning inputs to production (e.g. animal feed) and services (e.g. transport). Standards also consider specific legislated and/or normative reference standards that are applicable. Standard Review and Revision These standards are subject to regular review and when there are published advances in science, international standards and regulatory requirements relevant to these standards. NSF Introduction & History NSF International, an independent, not-for-profit, non-governmental organization, is dedicated to being the leading global provider of global solutions for global companies to help our clients manage risk and allow them to better meet their own commitments to animal wellness. Disclaimer: This document is the property of NSF International. Page 6 of 60

7 NSF International developed the NSF Global Animal Wellness Standards for organizations wishing to obtain this voluntary audit/certification with NSF International. Manufacturers and re-sellers/retailers may use the NSF Global Animal Wellness Standards only for their internal purposes in connection with the audit/certification process of and by NSF International. The NSF Global Animal Wellness Standards may not be used by others to certify or evaluate compliance with the NSF Global Animal Wellness Standards, and the NSF Global Animal Wellness Standards and its contents may not be reproduced, disseminated, published, stored in a retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying, recording, scanning, or otherwise), except with the express, written permission of NSF International. All rights reserved by NSF International. This document is the property of NSF International. Page 7 of 60

8 Glossary Animal: is defined as mammal or bird Animal based measures: response of an animal or effect on an animal used to assess its welfare, which can be taken directly on the animal or indirectly and includes amongst others the use of animal records (ISO) Animal handler: a person with knowledge of the behaviour and needs of animals who, with appropriate experience and a professional and positive response to an animal s needs, can achieve effective management and good welfare (OIE TAHC) Animal welfare management system: a set of interrelated elements, principles, policies and objectives to direct and control the organization to ensure that animal welfare is maintained. Interactive elements: Good Practices and Pre-requisite programs (PRPs) Animal Welfare Hazard Analysis (e.g. HACCP) Management System Statutory and regulatory requirements Communication Competence: Capable of applying knowledge and abilities to achieve intended results Continual improvement: planning and implementing strategic programs to change the organization's products, services, people and processes for the better. Continual Improvement models include is the cycles of Plan-Do-Check-Act and Define-Measure-Analyze-Improve-Control (Six Sigma). Control measure: An action or activity that can be used to prevent or eliminate a hazard or reduce it to an acceptable level. Correction: An action to identify and correct a problem that occurred without other actions associated with a corrective action procedure (such as actions to reduce the likelihood that the problem will recur, evaluate all affected animals or animal products and prevent affected animal food from entering commerce). Shall have the same meaning as corrected. Corrective action: Action to eliminate the cause of a detected nonconformity or other undesirable situation and includes: any immediate action required/taken root cause analysis of the problem Evaluate action needed based on the identified cause Determine if the problem exists elsewhere in the system and implement actions needed Document the results of the action taken Review/verify and document effectiveness of action taken with objective evidence Critical limit: criterion which separates acceptability from unacceptability Critical control point: A critical control point is the point in a process where failure to control known hazards can lead to serious harm to people, animals or equipment. This document is the property of NSF International. Page 8 of 60

9 Facility: applied in a broad sense to the physical space and premises used by the organization for the handling and management of animals, for harvest of products from animals and includes the processes, equipment, environment, materials and personnel involved. This includes supporting areas such as maintenance, electrical or boiler rooms, also. The facility must be managed and supervised under the same operational management. The facility is the site audited during an on-site audit. Flow diagram: A schematic and systematic presentation of the sequence and interactions of steps and inputs and can then be used to identify points in the process where hazards may be introduced or are reasonably likely to occur and that require a preventive control measure. Gap analysis: structured process to conduct an evaluation of the usual practices implemented/utilized by the organization in comparison to each of the general principles and requirements of animal welfare identified in the OIE TAHC to identify gaps Hazard analysis: the process of collecting and evaluating information on hazards associated with the inputs, processes and operations under consideration to decide which hazards are significant and must be addressed; steps include hazard identification and hazard assessment. Hazard assessment: process to determine, for each hazard identified, whether its elimination or reduction to acceptable levels is essential to achieve animal welfare objectives, and whether its control is needed to ensure that defined acceptable levels are met. Assessment evaluates the possible severity of adverse effects and the likelihood of their occurrence. Hazard identification: process to identify all known or reasonably foreseeable hazards relevant to the scope of the operation with the potential to cause an adverse effect on animal welfare. Relevant hazards will vary based on species, type of production, life stages of animals and point in protein supply chain. Hazards may be identified by conducting workplace inspections and reviewing work procedures. Indicators: objective, consistent and repeatable results that are used to assess that preventive and control measures are functioning appropriately. These may include but are not limited to: Animal assessments - body condition score, weight, vocalization, lameness, etc. Facility and equipment function assessments - water test results, pasture quality testing and feed testing; ventilation rates, air quality; lighting measure, etc. Operation assessments e.g. frequency of use of animal handling aids, holding times before unloading animals, etc. Internal audit (first party): an audit a process or set of processes in the management system conducted by the organization itself to ensure it meets the procedure that the company has specified. The auditor may be an employee of the organization or someone hired by the organization and is acting on behalf of the company. ISO: The International Organization for Standardization (ISO) is an international standard-setting body composed of representatives from various national standards organizations; the organization promotes worldwide proprietary, industrial and commercial standards. Management Review: regular evaluation of whether management systems are performing as intended and producing the desired results as efficiently as possible; critical to process of continual improvement. This document is the property of NSF International. Page 9 of 60

10 Monitoring: conducting a planned sequence of observations or measurements to assess whether control measures are operating as intended One Health: The One Health concept was introduced at the beginning of the 2000s. In a few words, it summarized an idea that had been known for more than a century; that human health and animal health are interdependent and bound to the health of the ecosystems in which they exist. This concept is envisaged and implemented by the OIE as a collaborative global approach to understanding risks for human and animal health (including both domestic animals and wildlife) and ecosystem health as a whole. Operations: the activities that an organization/producer engages in; a series of operations that are interconnected may be termed as a process. Organization: Company, corporation, firm, enterprise, municipality, authority or institution, or part or combination thereof, whether incorporated or not, public or private, that has its own functions with responsibilities, authorities and relationships to achieve its objectives. Encompasses corporations, cooperatives, partnerships, and sole proprietorships. (For the purposes of this document, the term refers to a single business operator or a group of business operators of the whole or a part of the food supply chain, including primary breeding companies, animal farmers, livestock transport companies and slaughterhouses. An organization can be public or private and includes, but is not limited to, sole-trader, company, corporation, firm, enterprise, authority, partnership, association, charity or institution, or part of combination thereof, whether incorporated or not, public or private.) Points of particular attention (POPAs): conditions that could be threatening to animal health, animal welfare, public health or on-farm management but where strict standards and tolerances have not been or cannot be defined. POPAs are generally influenced by many factors including biological variation among live animals and interactions between management practices. Resource based measures: factor or combination of factors that may be linked to a change in the likelihood of good or poor animal welfare. These factors include resources (e.g. housing, space allowance per animal, handling and restraint facilities, air temperature and quality, stunning equipment parameters) or management (e.g. personnel, financial, process). (ISO) Scope description: provides detail on the scope of production that provides detail including: Species and life stage(s) of animals under the responsibility of the operation Production type Specific management claims (grass-fed; cage-free, etc.) Product collection Target Market Intended Use Customer requirements/s Second party audit: an audit of a supplier or contracted service provider performed on behalf of the customer to ensure that they are meeting the requirements specified in the contract. Audit criteria may be proprietary to the customer. The auditor may be an employee of the customer or may be a thirdparty auditor conducting the audit on behalf of the customer. Site: A single farm, functional unit of an organization, or a combination of units situated at one location, which is geographically distinct from other units of the same organization This document is the property of NSF International. Page 10 of 60

11 Third party audit: an audit conducted by an independent auditor to verify that an organization has met the requirements of a specific scheme (may be a certification scheme). Tolerance limit: operation-specific targets for identified POPAs; when targets are not achieved, management is adjusted. Reflects that operations and producers will have unique management strategies and approaches. Validating: The process or procedure of obtaining evidence that the activity or control measure achieves the intended result. Verifying: Confirmation through objective evidence that activity or control measure was done according to its design. This document is the property of NSF International. Page 11 of 60

12 Animal Wellness Management System Requirements 1. Management Commitment, Policy, Procedures and Planning 1.1. Animal Welfare Management System The organization shall establish, document, implement and maintain an effective animal welfare management system. Expectations May not be a formal Some or all of the Documented. system but there is elements are evidence of the documented and and maintenance of organized. is determined elements. through compliance to the requirements of the standard. System documentation includes: Documented procedures that have been established for the animal welfare management system. Policies that impact the animal welfare management system Maintained in either electronic and/or hard copy form The organization shall define the scope of the animal welfare management system. The scope shall specify the relevant animal species and life stages of animals under the responsibility of the organization, processes and sites that are covered by the animal welfare management system Policy Expectations May not be written Documented Documented and but can be described included in Animal Welfare System Management documentation shall include description of animals, operations (scope) and sites and locations livestock description include a description of the flow of animals indicates what is covered under the plan and what is not covered The organization shall have a written and implemented animal welfare policy and/or a mission statement demonstrating commitment and accountability for animal welfare. (M) Expectations Policy and/or mission Written Written statement may not be Signed by senior Signed by senior written but there is management management evidence of Reviewed annually at a minimum This document is the property of NSF International. Page 12 of 60

13 The owner/operator recognizes and demonstrates the basic principle that the well-being of animals is a primary consideration. Acknowledgement of management commitment to providing necessary resources. Current and signed by Senior Management Reviewed annually at a minimum The policy shall include a statement of zero tolerance for animal abuse, mistreatment or neglect. (M) May not be a signed document but covered in training Employees interviewed confirm awareness Signed acknowledgement at hiring. Covered in documented training. Signed acknowledgement Annually reviewed and resigned Covered in documented training Informed of their responsibility to report animal welfare concerns to personnel with authority to take action Included in documentation (employee contract) that all employees review and sign prior to employment All contracted personnel (with or without animal contact) are aware of the zero tolerance policy and responsibility to report any animal concerns observed to company personnel with authority to take action Annually reviewed and resigned Covered in training (documented) The animal welfare policy is supported by written, measurable animal welfare objectives of the organization. (M) Objectives can be verbally stated and linked to methods of measure in place Written with linked measures. Included in animal welfare management system documentation Objectives clearly linked to measures Annual review of objectives Each objective has at least one measure associated to determine if the objective has been met Annual review of objectives This document is the property of NSF International. Page 13 of 60

14 1.3. Management Responsibility The organization shall designate an animal welfare lead or team to develop, implement, verify, validate, and maintain the organization s animal welfare management system. (M) Animal welfare lead is identified. Employees aware of who the animal welfare lead is. Indicated in organization Indicated in organization Written job description Team structure in place The designated animal welfare lead or team must have the specific knowledge and expertise necessary for the development of an effective animal welfare plan Where such expertise is not available on-site, expertise may be provided from outside the organization as part of the team Where outside expertise is required, for development or review the relationship needs to be defined and documented (e.g. agreement or contract outlining the responsibilities and authority of external experts) When there is a team, the animal welfare lead is indicated as the team lead The designated animal welfare lead shall be a full-time employee and report directly to organization management and are authorized to oversee all matters/conditions relating to the welfare of animals under the responsibility of the organization. (M) Can describe the reporting structure Organization chart. Responsibility and authority clearly stated in job description. Organization chart that shows reporting structure Responsibility and authority clearly stated in job description Report to management during regular management updates and management review Organization description or org chart Job descriptions indicating responsibility and authority for all animal welfare matters/conditions Includes staying current on any update or changes of the relevant documents (e.g. OIE TAHC, legislation), changing customer requirements, etc. Identify and complete if any changes need to be made to animal welfare management system This document is the property of NSF International. Page 14 of 60

15 Report to management during regular management updates and management review Expertise provided from outside the organization is part of the team led by the designated animal welfare lead The designated animal welfare lead shall be competent to implement and maintain an animal welfare management system relevant to the scope of the operations. (M) Can describe their background and experience in animal care and welfare Observations of skills Documented training Competence - combination of education, training skills and experience Documented training records Competence - combination of education, training skills and experience Specific animal welfare education/training (cert) Documented training records; certifications, degrees Person(s) undertaking the development of an animal welfare management system have adequate knowledge of animal health and welfare and production practices, behaviour and needs of animals, effective management and animal care practices, local conditions, national or regional legislation Management shall provide evidence that the necessary financial, human and physical resources are available for staff to meet the requirements of the animal welfare management system. (M) Evidence that necessary resources are available or planned for Documented to demonstrate needs are met Documented and planned Full staffing complement; back-ups to key positions in organization Personnel are trained Investment to maintain, improve or expand current facilities and equipment; capital project plans with accompanying budgets Management shall ensure the integrity and continued operation of the animal welfare system in the event of organizational, financial, human and physical resources changes within the organization or associated facilities. Job descriptions indicate back-up personnel requirements. business continuity. Documented requirements and identified designated backups. Business continuity plans This document is the property of NSF International. Page 15 of 60

16 Designated back-ups Measures to address changes to facilities available to animals The organization shall facilitate the and communication of the commitment stated in the policy referenced in 1.2 and all relevant animal welfare system documentation, including plans and procedures; health and safety policy and protocols and emergency and contingency plans. (M) Discussed during training In documented training and displayed Available in a language understandable to all staff Protocol describing how it is communicated (internal and external) should be displayed in a prominent location included in training includes family members senior site management develop and implement a communication program to ensure that all staff are informed of their animal welfare responsibilities, are aware of their role in meeting the requirements, and are informed of the organization s performance of these welfare objectives. These requirements are shared through established communication programs, and include any changes made to the animal welfare management system. Includes a mechanism that allows for the reporting of animal welfare violations and where reporting can be done without the threat of retaliation a defined program with declared methods of communication used/stated Made available in a language understandable to all staff Management shall establish procedures to improve the effectiveness of the animal welfare management system to demonstrate continual improvement. (M) Can describe how they can demonstrate continuous improvement Written procedure Written procedures describing all methods and procedures Frequencies based on documented risk Includes monitoring, verification, internal and external audit, management review Frequencies based on (documented) risk This document is the property of NSF International. Page 16 of 60

17 1.4. Crisis Management Management shall document and maintain procedures that outline the methods and responsibility the site shall implement to manage potential emergency situations and accidents that can impact animal welfare. (M) Current emergency contact list Written plan Written plan. Reviewed annually The animal welfare system has included any relevant contingency plans to address emergency situations and conditions (e.g. failure of power, water and feed supply systems; natural disaster; flood, drought, animal disease outbreaks, extreme weather) when they could compromise animal welfare and human safety Plans include: Contact information for key service providers, emergency evacuation/relocation of animals, and emergency euthanasia of animals. An evacuation plan and communicated to all responsible parties. The provision for emergency transport and evacuation of animals. Transport incidents Plans: Shall be documented by senior management, outlining the methods and responsibility that the site shall implement to cope with such a crisis. Include: Decision making senior manager to initiate action Crisis management team Controls implemented to ensure response does not compromise animal welfare Measures to isolate and identify animals affected by the crisis and the response to the crisis Measures taken to verify that response actions are effective Preparation and maintenance of a current crisis alert list (veterinary, source of expert and legal advice, corporate) Responsibility for internal communication, authority, external organizations, customers, suppliers, and media Review, test at least annually and verify Records of implemented contingency plan (during actual events), annual tests and reviews are maintained and include any corrective actions taken in response to findings A written transport emergency contingency plan is available and communicated. (M) Current emergency contact list Written plan Written plan. Reviewed annually This document is the property of NSF International. Page 17 of 60

18 1.5. Regulatory Plans include: Contingencies for accident, breakdown, significant travel delays (e.g. construction) and requirements for management of heat or cold stress while in transit. The plan includes emergency contact numbers and effective means of communication available to and from drivers so that warning can be given of transport delays and problems where assistance is required or when destination delays and problems will impact on transport arrival. Plans include contact information for key transport operation personnel, emergency repair service providers, accident management, replacement transport trailers and provision of comfort to animals on incapacitated transport vehicles. Contingencies and specific protocols as needed for in-transit accidents to address extracting animals from vehicles, managing loose animals, emergency field euthanasia, reloading, carcass disposal, etc The organization shall document and implement methods and responsibilities to ensure the organization remains updated and compliant with requirements of all relevant current legislation; this includes the requirement to be registered with all relevant regulatory authorities and where appropriate, authorized to undertake business activities. (M) Identify responsible person Documented process. Organization has documented and implemented methods and responsibility to maintain updated, according to regulations relevant to AW Current business license and registration as required Copies of official inspections maintained and available Relevant legislation: domestic legislation (national, regional and local) If exporting, legislation requirements of importing country Includes process for organization to stay abreast of updates Animal health system documentation references current legislation Personnel responsible for compliance with regulatory requirements shall be trained on relevant procedures. Procedures shall define individuals responsible for communicating regulatory requirements to management and personnel The organization has access to the current versions of relevant legislation. Show how they access the legislation Can demonstrate defined method for accessing current legislation. Is subscribed to alerts for regulatory updates This document is the property of NSF International. Page 18 of 60

19 Relevant legislation: domestic legislation (national, regional and local) available (electronic and/or hardcopy) and current If exporting, relevant legislation of importing country 1.6. Animal Welfare Plan, Protocols and Procedures The organization shall have a documented and implemented animal welfare plan. (M) Not a signed document but covered in training Documented Documented and included in Animal Welfare System Management documentation. Includes gap analysis. Annually reviewed and resigned signed, dated annually reviewed and resigned covered in training (documented) The animal welfare plan has considered the OIE animal welfare principles and guidelines for the welfare of animals in relevant Section 7 chapters of OIE TAHC; relevant national or regional legislation; requirements defined by contractual obligations, clients; animal welfare manuals, codes of practice or protocols from competent authorities and from the private sector as well as scientific and technical literature. The organization has conducted a gap analysis to identify the gaps between the organizations current animal welfare management and guidelines used as reference for the animal welfare plan. The identified gaps and necessary corrective actions are prioritized and corrections are undertaken. The animal welfare plan references the applicable procedures, and pre-requisite programs and other documentation The animal welfare plan shall identify the animal welfare lead or team. (M) The animal welfare plan shall identify competencies for animal handlers to ensure the of the animal welfare plan. (M) May not be documented but can be described. Defined in job descriptions. Defined in animal welfare plan, job advertisements, job descriptions and contracted service contracts and statement of work This document is the property of NSF International. Page 19 of 60

20 Includes employees and contracted resources The animal welfare plan shall be developed and maintained by the animal welfare lead or team. (M) Owner or identified lead Designated animal welfare lead/team Designated animal welfare lead/team develop the plan. Sign-off on the plan by animal welfare lead. Annually reviewed. The designated animal welfare lead or team must have the specific knowledge and expertise necessary for the development of an effective animal welfare plan Where such expertise is not available on-site, expertise may be provided from outside the organization as part of the team When there is a team, the animal welfare lead is indicated as the team lead The animal welfare plan shall include a description of the description of the scope, process steps, operational flow and control measures covering the relevant animal species and life stages of animals under the responsibility of the organization. Can be described and confirmed during observation Documented Documented, verified and reviewed annually Include a Scope Description that provides detail on: Species and life stage(s) of animals under the responsibility of the organization Customer requirements; certifications Include a flow diagram Flow diagrams provide a basis for evaluating the possible occurrence, increase or introduction of hazards. Flow diagrams are clear, accurate, sufficiently detailed and verified to actual conditions. Flow diagrams include the following: a) The sequence and interaction of all steps in the operation; b) Where inputs enter the flow; c) Any outsourced processes and subcontracted work; Description of process steps and control measures This document is the property of NSF International. Page 20 of 60

21 The animal welfare lead/team shall conduct and document a hazard analysis to identify and assess all known or reasonably foreseeable hazards related to all inputs, processes and operational flow of the animals relevant to the scope of the operation. May not be documented but can be described. May not be conducted as a formal hazard analysis, but there is evidence that components are in place Analysis is documented Method used is documented. May require a separate analysis for each species and/or life stage of animals Hazard identification considers hazards associated with: Inputs: feed, bedding, water, air, heating, animals, etc. All inputs shall be described to the extent needed to conduct the analysis and as relevant to the operation. Processes: (movement, transportation, handling) Facilities, Equipment and Operational flow of animals/animal product: Consideration shall be given to: the steps preceding and following the specified process within the operation, or the preceding and following links in the protein supply chain. Hazard assessment considers: possible severity of adverse effects and the likelihood of their occurrence. Assessment can utilize findings based on experience, illness, injury and mortality data, scientific reports, and other external information The organization shall determine, and document which hazards need to be controlled, the degree of control and which combination of control measures are required to ensure animal welfare. The animal welfare plan shall define the: control measures that are applied critical control points (CCPs) and associated critical thresholds (critical limits) Points of particular attention (POPAs) and associated tolerance limits. indicators (animal-based and resource-based) that are used to assess that control measures have appropriately addressed the hazard Identify what measures they use to assess welfare May not be fully documented but there is evidence that components are in place Documented control measures for identified hazards. Annually reviewed. Selection of control measures: An appropriate combination of control measures shall be selected which is capable of preventing, eliminating or reducing these hazards to defined acceptable levels. This document is the property of NSF International. Page 21 of 60

22 1.7. Documentation Requirements Identification of critical control points (CCPs) and points of particular attention (POPAs) Determination of critical thresholds (limits); take into account established statutory and regulatory requirements, generally accepted industry thresholds, customer requirements and other relevant data. Determination of POPA tolerance limits Indicators used to assess control measures: include but are not limited to: animal assessments, equipment function assessments, facility and equipment inspections. Animal based measures such as vocalization, lameness, falling/slipping, injury and dead on arrival rates, etc. Resource based measures such as prod use, air quality, etc The Animal Welfare Management system shall be documented and maintained in either electronic and/or hard copy form and shall include those documents needed by the organization to ensure effective development, and updating of the Animal Welfare Management system: A register or list of system documents shall be included; a summary of changes to the system documents that are validated, justified and fully documented. The animal welfare policy or commitment statement and related objectives Organizational chart Scope and process description Animal welfare plan (including the hazard analysis) Animal welfare program policies, procedures, and pre-requisite programs Other documentation necessary to support the development and the, maintenance and control of the Animal Welfare Management System May not be documented but can be described May be partially documented Complete system documentation maintained and readily accessible Other documentation as described in the requirements The methods and responsibility for control, maintenance and retention of documents and ensuring personnel have access to current documents shall be written and implemented. Can describe mechanism used to keep track. May include informal documentation and record-keeping. May not have specific procedures for documentation and records control, but there is written Complete system documentation maintained and readily accessible. Written procedures for This document is the property of NSF International. Page 22 of 60

23 documentation and records maintained. documentation and records control Document version control. Must establish a written procedure describing how personnel maintain, update and replace documents. Changes to the program should be validated, justified and fully documented. Procedures define: Approval of documents prior to issue, Review and update documents as necessary, and re-approve documents, Ensure that changes and the current revision status of documents are identified, Ensure that documents remain legible and readily identifiable, Ensure that obsolete versions of documents are identified as such if they are retained for any purpose. The organization shall ensure personnel have access to current documents that impact their ability to complete their work. The procedure must specify who is responsible for document control and assures documents are updated and securely stored. The procedure include training requirements for personnel. Indicates document retention times Records shall be established and maintained to provide evidence of the effective operation of the animal welfare management system. The facility shall have a written and implemented record keeping procedure that establishes the responsibility for undertaking record keeping, the approved methods to be utilized, as well as the record storage, protection, retrieval, retention time and disposition of records. Can describe mechanism used to keep track. May include informal documentation and record-keeping. May not have specific procedures for documentation and records control, but there is written documentation and records maintained. Complete system documentation maintained and readily accessible Written procedures for documentation and records control Written procedures describe the responsibility for undertaking record-keeping related to monitoring activities, verification, corrective actions Describes what needs to be documented and how often Records relevant to the maintenance and evaluation of the Animal Wellness Management System are properly completed and suitably authorized by those undertaking monitoring activities that demonstrate that inspections and other essential activities have been completed. All records shall be genuine, legible, initialed by operator and independently verified for accuracy and completion, recorded in ink on a timely basis with accurate date and time, errors marked with single line-out and initialed, marked to record unacceptable This document is the property of NSF International. Page 23 of 60

24 2. Personnel 2.1. Personnel Knowledge, Skills and Competency findings or deviations from requirements, and records shall indicate corrective actions taken. Responsibility for maintaining and retaining records shall be documented and implemented generally there is a list of documents which provides information on who and how frequently these forms are completed Records shall be readily accessible, retrievable, securely stored to prevent damage and deterioration and shall be retained in accordance with periods specified by a customer or regulations. Training for document control shall be completed to ensure records are accurate, indelible, and legible The organization has the required human resources available to implement the animal welfare plan; including the designated animal welfare manager(s) and staff/contracted resources The organization has defined the necessary competencies for persons undertaking animal management practices in job descriptions for employees and statements of work/contracts for contracted resources. May not be documented but can be described. Defined in job descriptions. Defined in animal welfare plan, job advertisements, job descriptions and contracted service contracts and statement of work Includes employees and contracted resources The competency expectations of personnel completing work is communicated to approved vendors providing the work or services (contractors) to ensure the vendor understands the organization's requirements in regard to animal welfare Recruitment and employee hiring practices are written; records are maintained to confirm that the necessary competencies can be demonstrated by personnel, employees and contracted resources. Can be described; evidence of May be documented.. Written policies and procedures. Available records demonstrate competencies are met. Methods to ensure qualified personnel are hired employees are screened prior to hiring The organization maintains written records of the experience (resumes) and qualifications (certificates of training, etc.) of hired applicants and contracted resources. This document is the property of NSF International. Page 24 of 60

25 Where appropriate, animal welfare personnel will participate in activities that contribute to their continuing professional development (CPD) to maintain required competencies. Where available, the CPD shall be accessed through formal programs. Records of CPD are reflected in personnel records. Applies where the requirements of a position indicate that a specific designation is required (e.g. professional membership; current certificate, etc.) Can be met through formal programs and/or courses. CPD can be gained through informal means including mentoring programs, self-directed reading, peer-to-peer activities, etc Personnel shall have access to current animal welfare plan, operating procedures and protocols, and as appropriate, to relevant current technical information, regulatory requirements, standards, codes of conduct, etc. as related to their job description and responsibilities. Discussed during training. knowledge of how to find relevant plans and protocols. Accessible to staff as required. Available in a language understandable to all staff Protocol describing access. included in training a defined procedure with declared methods of communication used/stated Made available in a language understandable to all staff The organization conducts assessments of employee performance to determine that persons undertaking animal handling, husbandry and management practices are competent. Assessments of employee performance are recorded. (M) Can describe how personnel are assessed Both formal and informal means are used Documented procedure for personnel and contracted service assessment. Corrective actions taken when performance is not acceptable. Records maintained. Can include: observations of how animals are responding to handler; # of times a prod is used by an employee; awareness of blind spots # of times they yell, etc. Observation of handler s response to balking animals This document is the property of NSF International. Page 25 of 60

26 2.2. Employee Training and Training Records Specific transport related: trip durations, injury and DOA rates for transported loads, etc. Corrective actions are implemented and recorded when employee performance is unsatisfactory. May result in need for retraining Includes investigation and root cause Verification of effectiveness of corrective actions is evaluated and recorded The organization has a written animal welfare training program that includes training on animal normal and abnormal behaviour, fear responses and indicators of welfare (relevant to all species/age groups of animals at the organization s operations) and covers all processes (taskspecific) that impact on animal welfare and includes training on contingency plans or crisis management. Not documented, Observed evidence of Written program Training register Written program Training register Annual review of training program Employees, contracted resources, relief help The training program defines the frequency of training. At a minimum: all new employees are provided with training prior to undertaking animal management practices; annual refresher training; in the event of updates to the animal welfare plan, procedures, and protocols; identified remedial training needs. Identify the basic requirements On the job training Interview of staff indicate understanding Indicates frequencies for initial and annual refresher training. Training register defines frequency of all categories of training needs. Annually reviewed. Persons undertaking animal handling are provided with appropriate mentoring and training to learn new or refresh skills. There is a mechanism of assessing the employee s understanding of the training Training needs are linked to employee performance feedback and observed/reported incidents and complaints Training materials and delivery of training shall be provided in a language understood by staff, and if applicable, contracted resources. This document is the property of NSF International. Page 26 of 60